PHS IIA PHS Lead

Document Sample
PHS IIA PHS Lead Powered By Docstoc
					                                                                                                L#:
                                               PUBLIC HEALTH SERVICE

                                      PHS INTERINSTITUTIONAL AGREEMENT

                                                          PHS-LEAD


This Agreement is entered into between the National Institutes of Health (“NIH”) or the Food and Drug
Administration (“FDA”), hereinafter singly or collectively referred to as “PHS”, agencies of the United States
Public Health Service within the Department of Health and Human Services (“HHS”) through the Office of
Technology Transfer, NIH, having an address at 6011 Executive Boulevard, Suite 325, Rockville, Maryland
20852-3804, U.S.A and ________________________________, hereinafter referred to as the “Institution”, having
an address at ________________________________.


1.        BACKGROUND

          1.1       In the course of fundamental research programs at the PHS and by the Institution,
                    ____________________ (hereinafter referred to as the “Inventor(s)”) made or reduced to practice
                    certain inventions, which are included within the Patent Rights, as defined in Paragraph 2.1.

          1.2       It is the mutual desire of the Institution and the PHS that their respective undivided interests in
                    the Patent Rights be administered in a manner to ensure the rapid commercialization of the
                    Patent Rights and to make their benefits widely available to the public. Therefore, the
                    Institution is granting an exclusive license under the Institution's rights in the Patent Rights to
                    the PHS under the conditions set forth herein.

2.        DEFINITIONS

          2.1       “Patent Rights” means:

                    (a)       Patent applications (including provisional patent applications and PCT
                              patent applications) or patents as follows: U.S. Patent Application
                              Serial No./U.S. Provisional Patent Application Serial No.
                              ____/______,______, filed ________________, entitled
                              ________________________, and any patent application(s) claiming
                              the benefit of priority thereof including all divisions and continuations
                              of these applications, all patents issuing from such applications,
                              divisions, and continuations, and any reissues, reexaminations, and
                              extensions of all such patents to the extent that at least one Inventor
                              from the Institution is an Inventor thereon;

                    (b)       to the extent that the following contain one or more claims directed to
                              the invention or inventions disclosed in 2.1(a) and to the extent that at
                              least one Inventor from the Institution is an Inventor:

                              (i)       continuations-in-part of 2.1(a);

                              (ii)      all divisions and continuations of these continuations-in-part;

                              (iii)     all patents issuing from these continuations-in-part, divisions,
                                        and continuations;

A-XXX-201X

CONFIDENTIAL
PHS Interinstitutional Agreement—PHS Lead
Model 10-2005 (updated 6-2010) Page 1 of 8 [Draft/Final] [Institution] [Date]
                              (iv)      priority patent application(s) of 2.1(a); and

                              (v)       any reissues, reexaminations, and extensions of all these
                                        patents; and

                    (c)       to the extent that the following contain one or more claims directed to
                              the invention or inventions disclosed in 2.1(a) and to the extent that at
                              least one Inventor from the Institution is an Inventor: all counterpart
                              foreign and U.S. patent applications and patents to 2.1(a) and
                              2.1(b);and

                    (d)       Patent Rights shall not include 2.1(b) or 2.1(c) to the extent that they
                              contain one or more claims directed to new matter which is not the
                              subject matter disclosed in 2.1(a).

          2.2       “Net Revenues” means all consideration received by PHS from the licensing of the Patent
                    Rights pursuant to this Agreement less (a) Expenses and then (b) fifteen percent (15%) of the
                    remaining consideration for administrative overhead. In the event that a license is executed by
                    PHS with a third party wherein the Patent Rights are licensed together with other technologies
                    not falling under the definition of the Patent Rights, all consideration received by PHS from the
                    licensing of the Patent Rights pursuant to this Agreement through the third-party executed
                    license shall correspond to the Patent Rights’ percentage contribution to the total amount
                    received for all licensed technologies as determined by PHS.

          2.3       “Expenses” means all reasonable and actual out-of-pocket costs, excluding those reimbursed by a
                    third party, paid by PHS for the preparation, filing, prosecution, and licensing of United States and
                    foreign patent applications, extraordinary expenses as provided in Paragraph 4.6, and the
                    maintenance of the resulting patents or patent applications, exclusive of any salaries,
                    administrative, or other indirect costs.

3.        GRANT AND RESERVATION OF RIGHTS

          3.1       The Institution hereby grants and PHS accepts, subject to the terms and conditions of this
                    Agreement, an exclusive license including the right to sublicense, under the Patent Rights to
                    make and have made, to use and have used, to sell and have sold, to offer to sell, and to import any
                    tangible embodiment of the Patent Rights and to practice and have practiced any process(es)
                    included within the Patent Rights.

          3.2       The Government of the United States (hereinafter referred to as “Government”) shall have the
                    irrevocable, royalty-free, paid-up right to practice and have practiced the Patent Rights
                    throughout the world by or on behalf of the Government and on behalf of any foreign
                    government or international organization pursuant to any existing or future treaty or agreement to
                    which the Government is a signatory.

4.        PATENT PROSECUTION AND PROTECTION

          4.1       PHS shall file, prosecute, and maintain patent application(s) relating to the Patent Rights and
                    shall promptly provide to the Institution all serial numbers and filing dates, together with copies
                    of all the applications, including copies of all Patent Office actions, responses, and all other Patent
                    Office communications. In addition, the Institution shall be granted Power of Attorney for all
                    such patent applications. PHS shall consult with the Institution, when so requested, prior to
                    communicating with any Patent Office with respect to the Patent Rights.


A-XXX-201X

CONFIDENTIAL
PHS Interinstitutional Agreement—PHS Lead
Model 10-2005 (updated 6-2010) Page 2 of 8 [Draft/Final] [Institution] [Date]
          4.2       PHS shall make an election with respect to foreign filing, upon consultation with the Institution.
                    If any foreign patent applications are filed, PHS shall promptly provide to the Institution all serial
                    numbers and filing dates. PHS also shall provide to the Institution copies of foreign patent
                    applications and Patent Office actions. PHS shall consult with the Institution, when so requested,
                    prior to communication with any Patent Office with respect to the Patent Rights.

          4.3       PHS shall promptly record Assignments of domestic patent rights in the United States Patent and
                    Trademark Office and shall promptly provide the Institution with a photocopy of each recorded
                    Assignment(s) to the Institution.

          4.4       Notwithstanding any other provision of this Agreement, PHS shall not abandon the prosecution
                    of any patent application, including provisional patent applications (except for purposes of filing
                    continuation application(s)) or the maintenance of any patent contemplated by this Agreement,
                    without prior written notice to the Institution. Upon receiving the written notice, the Institution
                    may, at its sole option and expense, take over the prosecution of any patent application, or the
                    maintenance of any patent.

          4.5       PHS shall promptly provide the Institution with copies of all issued patents under this
                    Agreement.

          4.6       In the event that PHS anticipates the possibility of any extraordinary expenditures arising from the
                    preparation, filing, prosecution, licensing, or defense of any patent application or patent
                    contemplated by this Agreement, including, without limitation, interferences, reexaminations,
                    reissues and oppositions, PHS shall provide the Institution with all relevant information and these
                    extraordinary expenditures shall be included as Expenses only upon written agreement of the
                    Institution. PHS and the Institution shall agree on a mutually acceptable course of action prior
                    to incurring these expenditures.

5.        LICENSING

          5.1       PHS shall diligently seek licensees for the commercial development of the Patent Rights and
                    shall administer the Patent Rights for the mutual benefit of the parties and in the public interest.

          5.2       PHS shall promptly provide the Institution with copies of all licenses and sublicenses granted for
                    the Patent Rights.

6.        ROYALTIES AND EXPENSES

          6.1       PHS shall distribute Net Revenues to the Institution concurrently with distributions it makes
                    under PHS' patent policy on the following basis: (a) ______ percent (X%) of the Net Revenues as
                    a royalty to the Institution and (b) ______ percent (X%) of the Net Revenues as a royalty to
                    PHS. All payments to the Institution, required under this Agreement, shall be in U.S. dollars
                    and shall be made by check or bank draft drawn on a United States bank and made payable to
                    ________________________. All payments shall be sent to the following address:
                    ________________________.

          6.2       PHS shall submit to the Institution annual statements of itemized Expenses, as defined in
                    Paragraph 2.3, and shall deduct the Expenses as provided for in Paragraph 2.2, except where the
                    Institution has identified discrepancies in billing by PHS, in which case, deduction of the
                    contested item(s), as a part of Expenses as provided for in Paragraph 2.2, shall be delayed pending
                    resolution thereof.

          6.3       In no event shall Institution be obligated to bear any costs for Expenses under this Agreement.

A-XXX-201X

CONFIDENTIAL
PHS Interinstitutional Agreement—PHS Lead
Model 10-2005 (updated 6-2010) Page 3 of 8 [Draft/Final] [Institution] [Date]
          6.4       Each party shall be solely responsible for calculating and distributing to its respective Inventor(s)
                    of the Patent Rights any share of Net Revenues in accordance with its respective patent policy,
                    royalty policy, or Federal law during the term of this Agreement.

7.        RECORDS AND REPORTS

          7.1       PHS shall keep complete, true, and accurate accounts of all Expenses and of all Net Revenues
                    received by it from each licensee of the Patent Rights and shall permit the Institution or the
                    Institution's designated agent to examine its books and records in order to verify the payments
                    due or owed under this Agreement. This examination shall not occur more than one (1) time in
                    any single calendar year.

          7.2       Upon request by the Institution, PHS shall submit to the Institution a report setting forth the
                    status of all patent prosecution, commercial development, and licensing activity relating to the
                    Patent Rights for the preceding calendar year.

8.        PATENT INFRINGEMENT

          8.1       In the event PHS or the Institution, including its licensees, shall learn of the substantial
                    infringement of any patent subject to this Agreement, the party who learns of the infringement
                    shall promptly notify the other party in writing and shall provide the other party with all available
                    evidence of the infringement. PHS and its licensees, in cooperation with the Institution, shall use
                    their best efforts to eliminate the infringement without litigation. If the efforts of the parties are
                    not successful in eliminating the infringement within ninety (90) days after the infringing party
                    has been formally notified of the infringement by PHS, PHS shall have the right, after consulting
                    with the Institution, to commence suit on its own account. The Institution may commence its
                    own suit after consultation with PHS.

          8.2       PHS may permit its licensees to bring suit on their own account, and PHS shall retain the right to
                    join any licensee's suit.

          8.3       The Institution shall take no action to compel PHS either to initiate or to join in any suit for
                    patent infringement. Should the Government be made a party to any such suit by motion or any
                    other action of the Institution, the Institution shall reimburse the Government for any costs,
                    expenses, or fees which the Government incurs as a result of the motion or other action, including
                    all costs incurred by PHS in opposing any joinder action.

          8.4       Legal action or suits to eliminate infringement or recover damages pursuant to Paragraph 8.1 shall
                    be at the full expense of the party by whom suit is brought. All damages recovered thereby shall
                    first be used to reimburse each party for its expenses related to the legal action or suit, and the
                    remainder of the damages shall be considered Net Revenues.

          8.5       Each party agrees to cooperate with the other in litigation proceedings. PHS may be represented,
                    at its expense, by counsel of its choice in any suit.

9.        GOVERNING LAWS, SETTLING DISPUTES

          9.1       This Agreement shall be construed in accordance with U.S. Federal law, as interpreted and
                    applied by the U.S. Federal courts in the District of Columbia. Federal law and regulations shall
                    preempt any conflicting or inconsistent provisions in this Agreement. Institution agrees to be
                    subject to the jurisdiction of U.S. courts.



A-XXX-201X

CONFIDENTIAL
PHS Interinstitutional Agreement—PHS Lead
Model 10-2005 (updated 6-2010) Page 4 of 8 [Draft/Final] [Institution] [Date]
          9.2       Any controversy or any disputed claim by either party against the other arising under or related to
                    this Agreement shall be submitted jointly to the Institution’s President or designee and to the
                    Director of the NIH or designee for resolution. The Institution and PHS shall be free after
                    written decisions are issued by those officials to pursue any and all administrative or judicial
                    remedies which may be available.

10.       TERM AND TERMINATION

          10.1      This Agreement is effective when signed by all parties, unless the provisions of Paragraph 11.8
                    are not fulfilled, and shall extend to the expiration of the last to expire of the patents included
                    within the Patent Rights unless otherwise terminated by operation of law or by acts of the parties
                    in accordance with the terms of this Agreement.

          10.2      PHS may terminate this Agreement upon at least sixty (60) days written notice to the Institution,
                    but in any event, not less than sixty (60) days prior to the date on which any pending Patent Office
                    actions need be taken to preserve patent rights for the benefit of the parties hereto.

          10.3      The Institution may terminate this Agreement in whole or in part if:

                    (a)       PHS fails to make payments or periodic reports required by this
                              Agreement;

                    (b)       PHS has committed a substantial breach of a covenant or duty
                              contained in this Agreement; or

                    (c)       PHS and the Institution are involved in a dispute under this
                              Agreement which cannot be resolved under the procedures specified in
                              Paragraph 9.2.

          10.4      If the Agreement is terminated under Paragraph 10.3, the Institution agrees to provide all
                    affected licensees an opportunity to license the Patent Rights under such terms as may have been
                    agreed to by PHS.

11.       GENERAL

          11.1      All Agreement notices required or permitted by this Agreement shall be given by prepaid, first
                    class, registered or certified mail or by an express/overnight delivery service provided by a
                    commercial carrier, properly addressed to the other party at the address designated on the
                    following Signature Page, or to such other address as may be designated in writing by the other
                    party. Agreement notices shall be considered timely if the notices are received on or before the
                    established deadline date or sent on or before the deadline date as verifiable by U.S. Postal Service
                    postmark or dated receipt from a commercial carrier. Parties should request a legibly dated U.S.
                    Postal Service postmark or obtain a dated receipt from a commercial carrier or the U.S. Postal
                    Service. Private metered postmarks shall not be acceptable as proof of timely mailing.

          11.2      The Agreement shall not be construed to confer on any person any immunity from or defenses
                    under the antitrust laws or from a charge of patent misuse, and the acquisition and use of rights
                    pursuant to this Agreement shall not be immunized from the operation of state or Federal law by
                    reason of the source of the grant.

          11.3      It is agreed that no waiver by either party hereto of any breach or default of any of the covenants
                    or agreements herein set forth shall be deemed a waiver as to any subsequent or similar breach or
                    default.

A-XXX-201X

CONFIDENTIAL
PHS Interinstitutional Agreement—PHS Lead
Model 10-2005 (updated 6-2010) Page 5 of 8 [Draft/Final] [Institution] [Date]
          11.4      This Agreement is binding upon and shall inure to the benefit of the parties hereto, their
                    successors or assigns, but this Agreement may not be assigned by either party without the prior
                    written consent of the other party.

          11.5      This Agreement confers no license or rights by implication, estoppel, or otherwise under any
                    patent applications or patents of the PHS other than the Patent Rights regardless of whether such
                    patents are dominant or subordinate to the Patent Rights.

          11.6      Any modification to this Agreement must be in writing and agreed to by both parties.

          11.7      It is understood and agreed by the Institution and PHS that this Agreement constitutes the entire
                    agreement, both written and oral, between the parties, and that all prior agreements respecting the
                    subject matter hereof, either written or oral, expressed or implied, shall be abrogated, canceled,
                    and are null and void and of no effect.

          11.8      The terms and conditions of this Agreement shall, at PHS’ sole option, be considered by PHS to
                    be withdrawn from Institution’s consideration and the terms and conditions of this Agreement,
                    and the Agreement itself to be null and void, unless this Agreement is executed by the
                    Institution and a fully executed original is received by PHS within sixty (60) days from the date
                    of PHS signature found at the Signature Page.

                                        SIGNATURES BEGIN ON NEXT PAGE




A-XXX-201X

CONFIDENTIAL
PHS Interinstitutional Agreement—PHS Lead
Model 10-2005 (updated 6-2010) Page 6 of 8 [Draft/Final] [Institution] [Date]
                                 PHS INTERINSTITUTIONAL AGREEMENT – PHS

                                                     SIGNATURE PAGE

IN WITNESS WHEREOF, the parties hereto have executed this Agreement in duplicate originals by their
respective duly authorized officers hereunto, on the day and year hereinafter written. Any communication or notice
to be given shall be forwarded to the respective addresses listed below.

For PHS:

_______________ DRAFT ____________________________                              _______________
Richard U. Rodriguez                                                            Date
Director, Division of Technology Development and Transfer
Office of Technology Transfer
National Institutes of Health

Mailing Address or E-mail Address for Agreement notices and reports:

Chief, Monitoring & Enforcement Branch
Office of Technology Transfer
National Institutes of Health
6011 Executive Boulevard, Suite 325
Rockville, Maryland 20852-3804 U.S.A.


E-mail: LicenseNotices_Reports@mail.nih.gov


For the Institution (Upon information and belief, the undersigned expressly certifies or affirms that the contents of
any statements of the Institution made or referred to in this Agreement are truthful and accurate.)
by:

________________ DRAFT ___________________________                              _______________
Signature of Authorized Official                                                Date


Printed Name


Title

Official and Mailing Address for Agreement notices:


  Name


  Title

  Mailing Address:




A-XXX-201X

CONFIDENTIAL
PHS Interinstitutional Agreement—PHS Lead
Model 10-2005 (updated 6-2010) Page 7 of 8 [Draft/Final] [Institution] [Date]
  Email Address:

  Phone:

  Fax:

Official and Mailing Address for Financial notices (Licensee’s contact person for royalty payments)


  Name


  Title

  Mailing Address:




  Email Address:

  Phone:

  Fax:



Any false or misleading statements made, presented, or submitted to the Government, including any relevant
omissions, under this Agreement and during the course of negotiation of this Agreement are subject to all
applicable civil and criminal statutes including Federal statutes 31 U.S.C. §§3801-3812 (civil liability) and 18
U.S.C. §1001 (criminal liability including fine(s) or imprisonment).




A-XXX-201X

CONFIDENTIAL
PHS Interinstitutional Agreement—PHS Lead
Model 10-2005 (updated 6-2010) Page 8 of 8 [Draft/Final] [Institution] [Date]